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News & Commentary
Content tagged with Compliance posted in December 2005
NASD Goes on a $19.4 million Tear, ABA Endorses Searchspace, and more
News  |  12/22/2005  | 
NASD Fines Major Firms for Mutual Fund Shares Violations, Searchspace's AML Solutions Gets American Bankers Association Approval, Asset Managers Will Continue Focus on Compliance in 2006 Says Report
HSBC Learns the Hard Way, Bear Stearns Selects Orchestria, and more
News  |  12/15/2005  | 
FSA Fine HSBC for Erroneous Reporting, Bear Stearns Chooses Orchestria for Internet Communication Monitoring, and Kinetics Chooses SEI for Its Hedge Funds
Compliance Newsflashes: Weston Capital to Use Financial Tracking Technologies, and more
News  |  12/8/2005  | 
Weston Capital Automates Compliance with Financial Tracking, Best Practices Help Alleviate SOX Costs
Scottrade Customer Information Is Compromised
News  |  12/1/2005  | 
Discount broker Scottrade has notified some of its customers that their personal information may have been compromised due to a security breach at one of its vendors.
Asset Managers Adjust to SOX After Year One, Union Bank California Deploys Anti Money Laundering Solution
News  |  12/1/2005  | 
SOX Year One: How to Cut Costs, Union Bank California Implements SearchSpace AML Technology


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